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Lesson 1: Background on Vulnerable Clients

Topics covered in this chapter are:

  • Introduction
  • Regulatory Objectives and Initiatives
  • Common Types of Infractions

Lesson 2: Compliance Considerations when Dealing with Vulnerable Clients

Topics covered in this chapter are:

  • CFRs as they Apply to Vulnerable Clients
    • Know Your Product (KYP)
    • Know Your Client (KYC)
    • Suitability
    • Relationship Disclosure
  • Powers of Attorney
  • Communication to Vulnerable Clients
  • Marketing and Advertising to Vulnerable Investors
    • Misleading Communications

Lesson 3: Detecting and Preventing Exploitation

Topics covered in this chapter are:

  • Introduction
  • Red Flags
    • Financial Exploitation
    • Powers of Attorney
    • Diminished Capacity
      • Example
  • Trusted Contact Person
  • Temporary Holds and “Safe Harbour”

Lesson 4: Note taking and Documentation

Topics covered in this chapter are:

  • Introduction
  • Note Taking and Documentation
  • Consequences of Noncompliance